Latest Dodd-Frank Posts
Duka Beats Fraud Charge in SEC Administrative Court
Litigation Barbara Duka was an employee of Standard & Poor’s Ratings Services. The SEC contended that Duka loosened S&P’s methodology for rating commercial mortgage-backed securities to help the company generate ratings business from issuers. S&P had settled allegations against it in a separate matter. The SEC brought charges against Duka in the SEC’s administrative court. Duka […] Read more →
NYSE Proposes to Amend Material News Policy Again
Public Companies and Securities In 2015 the NYSE amended its policy with respect to material news releases. One of the amendments was to include advisory text in Section 202.06 of the Listed Companies Manual... Read more →
Preliminary Planning for the 2018 Proxy Season
Public Companies and Securities For those who want to start preparing for the 2018 proxy season, our preliminary list of important considerations is set forth below: Directors’ and Officers’ Questionnaires... Read more →
SEC Inspector General Concludes Acting Chairman Piwowar’s Actions Were Lawful
Public Companies and Securities In an investigation conducted at the request of four Senators, the SEC Inspector General concluded “we do not find that Commissioner Piwowar’s actions as Acting Chairman... Read more →